Pinchos Goldberg
Senior Counsel
Pinny Goldberg is a senior counsel in the Labor & Employment Law Department. Pinny represents employers in a broad array of matters before federal and state courts, FINRA and other arbitration panels, and administrative agencies, including the EEOC and its state equivalents, and in pre-litigation negotiations. Matters he works on include discrimination and harassment, wage and hour, wrongful discharge, whistleblowing and retaliation, covenants not to compete, breaches of fiduciary duty, unjust enrichment, and tort and contract claims.
In addition to handling litigation and dispute resolution, Pinny regularly advises clients on a wide variety of employment issues, including drafting, reviewing and revising handbooks and workplace policies. He also addresses questions and concerns related to hiring, wage and hour issues, employee leave, performance problems, terminations of employment, and separation agreements and releases.
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On September 24, 2021, the SEC announced an approximately $36 million award to a whistleblower who provided critical information to the SEC that contributed to a successful enforcement action. (The order granting the award can be accessed here.) Emily Pasquinelli, Acting Chief of the SEC’s Office of the Whistleblower noted that “[w]histleblowers can act as … Continue Reading
On June 23, 2021, the SEC announced that Guggenheim Securities, LLC (“Company”) agreed to settle charges that it violated Rule 21F-17 by including language in its compliance manual and training materials that allegedly prohibited employees from contacting regulators without prior Company approval. Without admitting or denying the findings in the SEC’s order, the Company consented … Continue Reading
On July 26, 2021, the United States District Court for the Northern District of California held, after a bench trial, that Plaintiff Botta failed to prove that Defendant PricewaterhouseCoopers LLP (“PwC”) terminated his employment in retaliation for his filing of a complaint with the SEC, and dismissed his whistleblower claims brought under SOX and California … Continue Reading
On July 21, 2021, the U.S. District Court for the Southern District of New York held that the whistleblower protections established in SOX are not restricted to employee whistleblowers, but also extend to shareholders. SEC v. Collector’s Coffee Inc., No. 19-cv-4355. Background As we previously reported, in 2019 the SEC sued online auction portal Collectors … Continue Reading
On June 21, 2021, OSHA’s much-anticipated Emergency Temporary Standard (“ETS”) on COVID-19 protections went into effect. While Proskauer’s Law and the Workplace blog covered the ETS in detail here, this post focuses on the anti-retaliation provision in the ETS. Anti-Retaliation Provision The ETS, which applies only to the health-care sector, contains an anti-retaliation provision prohibiting … Continue Reading
On May 17, 2021, the SEC announced payment of more than $31 million to four whistleblowers who provided the SEC with information that resulted in the return of tens of millions of dollars to harmed investors. The largest of the awards, totaling almost $27 million, was awarded to two joint whistleblowers who provided the SEC … Continue Reading
On April 12, 2021, the U.S. District Court for the Middle District of Pennsylvania granted a defendant-employer’s motion for summary judgment on a SOX whistleblower retaliation claim, holding that the company demonstrated that it would have terminated Plaintiff’s employment even in the absence of any alleged protected activity as part of a broad reduction-in-force (RIF). … Continue Reading
On May 10, 2021, the SEC’s Office of the Whistleblower announced multi-million dollar awards to two whistleblowers who provided the SEC with information that assisted the agency in bringing a successful enforcement action against a financial services firm. (The order granting the awards can be accessed here.) The larger of the two awards, $18 million, was … Continue Reading
On March 29, 2021, the U.S. District Court for the Eastern District of Pennsylvania granted a defendant-employer’s motion for summary judgment on a SOX whistleblower retaliation claim, holding that the plaintiff lacked an objectively or subjectively reasonable belief that the company violated any law enumerated in Section 806 of SOX. Ngai v. Urban Outfitters, Inc., … Continue Reading
On March 31, 2021, the Sixth Circuit addressed an issue of first impression in the circuit, holding that the False Claims Act’s (“FCA”) whistleblower protection provisions protect former employees from post-employment retaliation. United States, ex rel. Felten v. William Beaumont Hospital, No. 20-1002. Background Plaintiff was employed as a doctor at a Michigan hospital. He … Continue Reading
On April 15, 2021, the SEC announced payment of more than $50 million to joint whistleblowers who provided the SEC with information that resulted in the return of tens of millions of dollars to harmed investors. Jane Norberg, Chief of the SEC’s Office of the Whistleblower, noted that “this award is the second largest in … Continue Reading
The SEC announced on April 8, 2021 the departure of Jane Norberg, Chief of the SEC’s Office of the Whistleblower. Ms. Norberg had been with the Office nearly since its inception in 2012, serving as its first Deputy Chief and then as Chief following the departure of Sean McKessy in 2016. The SEC’s press release … Continue Reading
On March 22, 2021, the Seventh Circuit affirmed a decision by the ARB dismissing a whistleblower retaliation complaint under SOX for failure to file within the 180-day statutory deadline. Xanthopoulos v. U.S. Department of Labor, No. 20-2604. The court rejected the plaintiff’s equitable tolling arguments. Background Plaintiff was an employee of an investment company, and … Continue Reading
On December 17, 2020, the Administrative Review Board (“ARB”) of the U.S. Department of Labor affirmed the dismissal of a former employee’s whistleblower retaliation claim under Section 806 of SOX. The ARB concluded that the Complainant did not engage in protected activity, noting that his complaints regarding a lack of what he characterized as “internal … Continue Reading
On January 13, 2021, a New York whistleblower attorney filed a lawsuit in the U.S. District Court for the District of Columbia challenging a recent final rule adopted by the Securities and Exchange Commission (the “Commission or “SEC”) which made several changes to the SEC’s whistleblower program. The SEC Final Rule The final rule was … Continue Reading
On January 29, 2021, the U.S. Court of Appeals for the Fifth Circuit affirmed the dismissal of a SOX whistleblower retaliation claim where the plaintiff failed to establish an employer-employee relationship with the defendant. Moody v. Am. Nat’l Ins. Co., No. 20-cv-40462. Background Plaintiff was the owner and president of Moody Insurance Group (“MIG”). MIG … Continue Reading
A recent Bloomberg article reports that whistleblower complaints to the SEC have soared as employees have been working from home during the COVID-19 pandemic. According to the article, the SEC received 6,900 complaints in the fiscal year that ended on September 30, 2020 – a 31% jump from the previous 12-month record. The article discusses … Continue Reading
The Commodity Futures Trading Commission (“CFTC”) recently released its 2020 Annual Report on the status of its whistleblower program for the fiscal year ending on September 30, 2020. The report, prepared by the CFTC’s Whistleblower Office (“WBO”), contains statistics on the tips received and awards granted during the previous fiscal year, describes the WBO’s recent … Continue Reading
On October 22, 2020, the SEC announced an award of over $114 million to a whistleblower who, after reporting internally to their employer, provided the SEC with information and assistance that led to the successful enforcement of SEC and related actions. The $114 million award consists of an approximately $52 million award in connection with … Continue Reading
On September 30, 2020, the U.S. District Court for the Northern District of Georgia granted an employer’s motion to dismiss a Dodd-Frank whistleblower claim on the ground that the alleged whistleblower did not complain to the SEC prior to his termination. The court also granted Plaintiff’s SOX whistleblower claim as against three affiliates of Plaintiff’s … Continue Reading
On September 30, 2020, the SEC’s Office of the Whistleblower announced multi-million dollar awards to two whistleblowers who provided the SEC with information that assisted the agency in bringing a successful enforcement action. (The order granting the awards can be accessed here.) The larger of the two awards, $22 million, is one of the SEC’s … Continue Reading
On September 23, 2020, by a vote of 3 to 2, the U.S. Securities and Exchange Commission announced the adoption of a final rule implementing several changes to its whistleblower program, citing the need to “provide greater clarity to whistleblowers and increase the program’s efficiency and transparency.” The following addresses the key provisions of the … Continue Reading
On September 14, 2020, the SEC announced payment of more than $10 million to a whistleblower who provided original information to the SEC that led to a successful enforcement action. (The order granting the award can be accessed here.) In explaining the reason for its award determination, the SEC noted that the whistleblower had “provided … Continue Reading
On July 16, 2020, the Third Circuit affirmed the dismissal of a former IT analyst’s whistleblower retaliation claim, holding that he lacked an objectively reasonable belief that his complaints implicated one of the enumerated forms of fraud in the SOX whistleblower provision. Reilly v. GlaxoSmithKline, LLC, No. 19-cv-2897. Background Plaintiff was an IT analyst for … Continue Reading
SEC Announces $36 Million Award to Whistleblower
By Steven J. Pearlman and Pinchos Goldberg on Posted in SEC
SEC Alleges Employer’s Compliance Manual Violates Rule 21F-17
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in Rule 21F-17, SEC
CA Federal Court Dismisses Whistleblower Claims After Bench Trial
By Steven J. Pearlman, Pinchos Goldberg and Jordan Glassberg on Posted in SOX Whistleblower Decisions
SDNY: SOX Whistleblower Protections Extend to Investors
By Steven J. Pearlman, Pinchos Goldberg and Thomas B. Fiascone on Posted in Rule 21F-17, SEC
OSHA’s COVID-19 Emergency Temporary Standard Contains Anti-Retaliation Provision
By Lloyd B. Chinn, Pinchos Goldberg and Scott Tan on Posted in OSHA Administration
SEC Awards Four Whistleblowers More Than $31 Million
By Steven J. Pearlman and Pinchos Goldberg on Posted in SEC
M.D. Pennsylvania Grants Summary Judgment on SOX Retaliation Claim
By Steven J. Pearlman, Pinchos Goldberg and Shanice Z. Smith-Banks on Posted in SOX Whistleblower Decisions
SEC Awards $22 Million to Two Whistleblowers
By Steven J. Pearlman and Pinchos Goldberg on Posted in SEC
Pennsylvania District Court Grants Employer Summary Judgment on SOX Claim
By Steven J. Pearlman, Pinchos Goldberg and Rebecca Fishbein on Posted in SOX Whistleblower Decisions
6th Circuit: FCA Whistleblower Protections Extend to Post-Employment Retaliation
By Steven J. Pearlman, Pinchos Goldberg and Julia Hollreiser on Posted in False Claims Act
SEC Awards Joint Whistleblowers More Than $50 Million
By Lloyd B. Chinn and Pinchos Goldberg on Posted in SEC
SEC Whistleblower Chief Jane Norberg to Leave, Agency Announces
By Lloyd B. Chinn and Pinchos Goldberg on Posted in SEC
7th Circuit Affirms Denial of Equitable Tolling of Statute of Limitations Under SOX
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in SOX Whistleblower Decisions
ARB Affirms Dismissal of SOX Whistleblower Claim for Lack of Protected Activity
By Steven J. Pearlman, Pinchos Goldberg and Julia Hollreiser on Posted in Key ARB Decisions
Whistleblower Attorney Challenges SEC Final Rule Changing Its Whistleblower Program
By Lloyd B. Chinn, Pinchos Goldberg and Scott Tan on Posted in SEC
Fifth Circuit Affirms Dismissal of SOX Whistleblower Claim for Lack of Employer-Employee Relationship
By Steven J. Pearlman, Pinchos Goldberg and Rebecca Fishbein on Posted in SOX Whistleblower Decisions
Bloomberg: SEC Receives Record Number of Whistleblower Tips From Remote Employees
By Harris Mufson and Pinchos Goldberg on Posted in SEC
CFTC Releases 2020 Annual Report on its Whistleblower Program
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in CFTC
SEC Announces Record-Breaking $114 Million Award to Whistleblower
By Lloyd B. Chinn and Pinchos Goldberg on Posted in SEC
Ga. District Court Dismisses Dodd-Frank and SOX Whistleblower Claims
By Steven J. Pearlman, Pinchos Goldberg and Melissa A. Overbeck on Posted in Dodd Frank, SOX Whistleblower Decisions
SEC Awards Almost $30 Million to Two Insider Whistleblowers
By Lloyd B. Chinn and Pinchos Goldberg on Posted in SEC
SEC Amends Whistleblower Program Rules
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in SEC
SEC Awards Whistleblower More Than $10 Million
By Steven J. Pearlman and Pinchos Goldberg on Posted in SEC
Third Circuit Confirms Limits on Scope of Protected Activity Under SOX
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in SOX Whistleblower Decisions
